Self-Regulatory Organizations; The Depository Trust Company; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends To Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities, 49825-49826 [2014-19914]

Download as PDF Federal Register / Vol. 79, No. 163 / Friday, August 22, 2014 / Notices impediments to and perfect the mechanisms of a free and open market because it simply increases the administrative efficiency with which the Exchange processes listing applications without substantively increasing the burden on listed companies. B. Self-Regulatory Organization’s Statement on Burden on Competition C. Self-Regulatory Organization’s Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others No written comments were solicited or received with respect to the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action tkelley on DSK3SPTVN1PROD with NOTICES The Exchange has filed the proposed rule change pursuant to Section 19(b)(3)(A)(iii) of the Act 6 and Rule 19b–4(f)(6) thereunder.7 Because the proposed rule change does not: (i) significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative prior to 30 days from the date on which it was filed, or such shorter time as the Commission may designate, if consistent with the protection of investors and the public interest, the proposed rule change has become effective pursuant to Section 19(b)(3)(A) of the Act and Rule 19b–4(f)(6)(iii) thereunder.8 At any time within 60 days of the filing of such proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. U.S.C. 78s(b)(3)(A)(iii). CFR 240.19b–4(f)(6). 8 17 CFR 240.19b–4(f)(6)(iii). As required under Rule 19b–4(f)(6), the Exchange provided the Commission with written notice of its intent to file the proposed rule change, along with a brief description and the text of the proposed rule change, at least five business days prior to the date of filing of the proposed rule change. 7 17 VerDate Mar<15>2010 16:23 Aug 21, 2014 Jkt 232001 Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: Electronic Comments The Exchange does not believe that the proposed rule changes will impose any burden on competition that is not necessary or appropriate in furtherance of the purpose of the Act. The proposed rule change will have no impact on competition as it simply permits a change in the manner in which listing fees are collected, without changing the amount of those fees. 6 15 IV. Solicitation of Comments • Use the Commission’s Internet comment form (http://www.sec.gov/ rules/sro.shtml); or • Send an email to rule-comments@ sec.gov. Please include File Number SR– NYSEMKT–2014–68 on the subject line. Paper Comments • Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549–1090. All submissions should refer to File Number SR–NYSEMKT–2014–68. This file number should be included on the subject line if email is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission’s Internet Web site (http://www.sec.gov/ rules/sro.shtml). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the Commission’s Public Reference Room, 100 F Street NE., Washington, DC 20549 on official business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of the filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR– NYSEMKT–2014–68 and should be submitted on or before September 12, 2014. 9 17 PO 00000 CFR 200.30–3(a)(12). Frm 00072 Fmt 4703 Sfmt 4703 49825 For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.9 Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–19913 Filed 8–21–14; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–72860; File No. SR–DTC– 2013–11] Self-Regulatory Organizations; The Depository Trust Company; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends To Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities August 18, 2014. On December 5, 2013, The Depository Trust Company (‘‘DTC’’) filed with the Securities and Exchange Commission (‘‘Commission’’) proposed rule change SR–DTC–2013–11 (‘‘Proposed Rules’’) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Exchange Act’’) 1 and Rule 19b–4 thereunder.2 The Proposed Rules were published in the Federal Register on December 24, 2013.3 The Commission received ten comments from eight commenters to the Proposed Rules 4 and two letters from DTC responding to those comments.5 On February 6, 2014, DTC extended the date for Commission action on the Proposed Rules to March 24, 2014. On February 10, 2014, DTC filed Amendment No. 1 to the Proposed 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 See Release No. 34–71132 (Dec. 18, 2013); 78 FR 77755 (Dec. 24, 2013). 4 See Letters to Elizabeth M. Murphy, Secretary, Commission, from: Suzanne H. Shatto dated December 20, 2013 (‘‘Shatto Letter I ’’); Simon Kogan dated December 22, 2013 (‘‘Kogan Letter’’); DTCC BigBake dated December 27, 2013 (‘‘DTCC BigBake Letter I’’) and March 14, 2014 (‘‘DTCC BigBake Letter II’’); Brenda Hamilton, Hamilton & Associates Law Group, PA (‘‘Hamilton Letter’’); Charles V. Rossi, Chairman, STA Board Advisory Committee, Securities Transfer Association dated January 14, 2014 (‘‘STA Letter I’’); Louis A. Brilleman, Louis A. Brilleman, P.C. dated January 14, 2014 (‘‘Brilleman Letter I’’); Gary Emmanuel and Harvey Kesner, Sichenzia Ross Friedman Ference LLP dated January 14, 2014 (‘‘Sichenzia Letter I’’) and February 24, 2014 (‘‘Sichenzia Letter II’’); and Susanne Trimbath, STP Advisory Services, LLC dated March 19, 2014 (‘‘Trimbath Letter’’). 5 See Letters to Elizabeth M. Murphy, Secretary, Commission, from Isaac Montal, Managing Director and Deputy General Counsel, DTCC dated February 10, 2014 (‘‘DTC Letter I’’) and March 3, 2014 (‘‘DTC Letter II’’). 2 17 E:\FR\FM\22AUN1.SGM 22AUN1 49826 Federal Register / Vol. 79, No. 163 / Friday, August 22, 2014 / Notices Rules. On March 10, 2014, DTC Filed Amendment No. 2 to the Proposed Rules. On March 19, 2014, the Commission published Amendment Nos. 1 and 2 for comment and instituted proceedings to determine whether to approve or disapprove the Proposed Rules, as modified by Amendment Nos. 1 and 2.6 During the course of these proceedings, the Commission received eight additional comment letters from seven commenters 7 and two letters in response from DTC.8 On June 13, 2014, the Commission extended the deadline for Commission action on the Order Instituting Proceedings to August 21, 2014.9 On August 15, 2014, DTC withdrew the Proposed Rules, as amended by Amendment Nos. 1 and 2 (SR–DTC– 2013–11). For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.10 Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–19914 Filed 8–21–14; 8:45 am] tkelley on DSK3SPTVN1PROD with NOTICES BILLING CODE 8011–01–P 6 See Release No. 34–71745 (March 19, 2014); 79 FR 16392 (March 25, 2014). 7 See Letters to Elizabeth M. Murphy, Secretary, Commission from: Louis A. Brilleman, Louis A. Brilleman, P.C. dated April 10, 2014 (‘‘Brilleman Letter II’’); Charles V. Rossi, Chairman, STA Board Advisory Committee, Securities Transfer Association dated April 15, 2014 (‘‘STA Letter II’’); Daniel Zwiren, President and CEO, Edward Petraglia, General Counsel, Optigenex Inc. dated May 5, 2014 (‘‘Optigenex Letter I’’); and Suzanne H. Shatto dated May 9, 2014 (Shatto Letter II’’). See Letter to Elizabeth M. Murphy, Secretary, Commission and Lisa D. Levey, Secretary, the Depository Trust Company from Daniel Zwiren, President and CEO, Edward Petraglia, General Counsel, Optigenex Inc. dated April 15, 2014 (‘‘Optigenex Letter II’’). See Letters to Kevin M. O’Neill, Deputy Secretary, Commission from Gary Emmanuel and Harvey Kesner, Sichenzia Ross Friedman Ference LLP dated April 29, 2014 (‘‘Sichenzia Letter III’’); William Ferguson, Carlton Huxley Ltd. dated June 27, 2014 (‘‘Carlton Letter’’); and Jan Harris dated July 1, 2014 (‘‘Harris Letter’’). 8 See Letters to Elizabeth M. Murphy, Secretary, Commission, from Isaac Montal, Managing Director and Deputy General Counsel, DTCC dated April 29, 2014 (‘‘DTC Letter III’’) and May 6, 2014 (‘‘DTC Letter IV’’). 9 See Release No. 34–72391 (June 13, 2014); 79 FR 35193 (June 19, 2014). 10 17 CFR 200.30–3(a)(31). VerDate Mar<15>2010 16:23 Aug 21, 2014 Jkt 232001 SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION [File No. 500–1] [File No. 500–1] In the Matter of ATP Oil & Gas Corp., Cambridge Holdings, Ltd., FTE Networks, Inc., Raystream, Inc., and Shelron Group, Inc.; Order of Suspension of Trading August 20, 2014. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of ATP Oil & Gas Corp. because it has not filed any periodic reports since the period ended March 31, 2012. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Cambridge Holdings, Ltd. because it has not filed any periodic reports since the period ended September 30, 2011. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of FTE Networks, Inc. because it has not filed any periodic reports since the period ended June 30, 2012. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Raystream, Inc. because it has not filed any periodic reports since the period ended July 31, 2012. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Shelron Group, Inc. because it has not filed any periodic reports since the period ended December 31, 2012. The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of the above-listed companies. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the abovelisted companies is suspended for the period from 9:30 a.m. EDT on August 20, 2014, through 11:59 p.m. EDT on September 3, 2014. International Building Technologies Group, Inc., Regeneca, Inc., Retail Pro, Inc., and Tri-Valley Corporation, Order of Suspension of Trading August 20, 2014. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of International Building Technologies Group, Inc. because it has not filed any periodic reports since the period ended September 30, 2011. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Regeneca, Inc. because it has not filed any periodic reports since the period ended September 30, 2011. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Retail Pro, Inc. because it has not filed any periodic reports since the period ended December 31, 2007. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Tri-Valley Corporation because it has not filed any periodic reports since the period ended March 31, 2012. The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of the above-listed companies. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the abovelisted companies is suspended for the period from 9:30 a.m. EDT on August 20, 2014, through 11:59 p.m. EDT on September 3, 2014. By the Commission. Jill M. Peterson, Assistant Secretary. [FR Doc. 2014–20110 Filed 8–20–14; 4:15 pm] BILLING CODE 8011–01–P SMALL BUSINESS ADMINISTRATION Data Collection Available for Public Comments By the Commission. Jill M. Peterson, Assistant Secretary. ACTION: [FR Doc. 2014–20112 Filed 8–20–14; 4:15 pm] SUMMARY: 60-day notice and request for comments. BILLING CODE 8011–01–P PO 00000 Frm 00073 Fmt 4703 Sfmt 4703 The Small Business Administration (SBA) intends to request E:\FR\FM\22AUN1.SGM 22AUN1

Agencies

[Federal Register Volume 79, Number 163 (Friday, August 22, 2014)]
[Notices]
[Pages 49825-49826]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-19914]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-72860; File No. SR-DTC-2013-11]


Self-Regulatory Organizations; The Depository Trust Company; 
Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment 
Nos. 1 and 2, To Specify Procedures Available to Issuers of Securities 
Deposited at DTC for Book Entry Services When DTC Imposes or Intends To 
Impose Restrictions on the Further Deposit and/or Book Entry Transfer 
of Those Securities

August 18, 2014.
    On December 5, 2013, The Depository Trust Company (``DTC'') filed 
with the Securities and Exchange Commission (``Commission'') proposed 
rule change SR-DTC-2013-11 (``Proposed Rules'') pursuant to Section 
19(b)(1) of the Securities Exchange Act of 1934 (``Exchange Act'') \1\ 
and Rule 19b-4 thereunder.\2\ The Proposed Rules were published in the 
Federal Register on December 24, 2013.\3\ The Commission received ten 
comments from eight commenters to the Proposed Rules \4\ and two 
letters from DTC responding to those comments.\5\ On February 6, 2014, 
DTC extended the date for Commission action on the Proposed Rules to 
March 24, 2014. On February 10, 2014, DTC filed Amendment No. 1 to the 
Proposed

[[Page 49826]]

Rules. On March 10, 2014, DTC Filed Amendment No. 2 to the Proposed 
Rules. On March 19, 2014, the Commission published Amendment Nos. 1 and 
2 for comment and instituted proceedings to determine whether to 
approve or disapprove the Proposed Rules, as modified by Amendment Nos. 
1 and 2.\6\ During the course of these proceedings, the Commission 
received eight additional comment letters from seven commenters \7\ and 
two letters in response from DTC.\8\ On June 13, 2014, the Commission 
extended the deadline for Commission action on the Order Instituting 
Proceedings to August 21, 2014.\9\
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Release No. 34-71132 (Dec. 18, 2013); 78 FR 77755 (Dec. 
24, 2013).
    \4\ See Letters to Elizabeth M. Murphy, Secretary, Commission, 
from: Suzanne H. Shatto dated December 20, 2013 (``Shatto Letter I 
''); Simon Kogan dated December 22, 2013 (``Kogan Letter''); DTCC 
BigBake dated December 27, 2013 (``DTCC BigBake Letter I'') and 
March 14, 2014 (``DTCC BigBake Letter II''); Brenda Hamilton, 
Hamilton & Associates Law Group, PA (``Hamilton Letter''); Charles 
V. Rossi, Chairman, STA Board Advisory Committee, Securities 
Transfer Association dated January 14, 2014 (``STA Letter I''); 
Louis A. Brilleman, Louis A. Brilleman, P.C. dated January 14, 2014 
(``Brilleman Letter I''); Gary Emmanuel and Harvey Kesner, Sichenzia 
Ross Friedman Ference LLP dated January 14, 2014 (``Sichenzia Letter 
I'') and February 24, 2014 (``Sichenzia Letter II''); and Susanne 
Trimbath, STP Advisory Services, LLC dated March 19, 2014 
(``Trimbath Letter'').
    \5\ See Letters to Elizabeth M. Murphy, Secretary, Commission, 
from Isaac Montal, Managing Director and Deputy General Counsel, 
DTCC dated February 10, 2014 (``DTC Letter I'') and March 3, 2014 
(``DTC Letter II'').
    \6\ See Release No. 34-71745 (March 19, 2014); 79 FR 16392 
(March 25, 2014).
    \7\ See Letters to Elizabeth M. Murphy, Secretary, Commission 
from: Louis A. Brilleman, Louis A. Brilleman, P.C. dated April 10, 
2014 (``Brilleman Letter II''); Charles V. Rossi, Chairman, STA 
Board Advisory Committee, Securities Transfer Association dated 
April 15, 2014 (``STA Letter II''); Daniel Zwiren, President and 
CEO, Edward Petraglia, General Counsel, Optigenex Inc. dated May 5, 
2014 (``Optigenex Letter I''); and Suzanne H. Shatto dated May 9, 
2014 (Shatto Letter II''). See Letter to Elizabeth M. Murphy, 
Secretary, Commission and Lisa D. Levey, Secretary, the Depository 
Trust Company from Daniel Zwiren, President and CEO, Edward 
Petraglia, General Counsel, Optigenex Inc. dated April 15, 2014 
(``Optigenex Letter II''). See Letters to Kevin M. O'Neill, Deputy 
Secretary, Commission from Gary Emmanuel and Harvey Kesner, 
Sichenzia Ross Friedman Ference LLP dated April 29, 2014 
(``Sichenzia Letter III''); William Ferguson, Carlton Huxley Ltd. 
dated June 27, 2014 (``Carlton Letter''); and Jan Harris dated July 
1, 2014 (``Harris Letter'').
    \8\ See Letters to Elizabeth M. Murphy, Secretary, Commission, 
from Isaac Montal, Managing Director and Deputy General Counsel, 
DTCC dated April 29, 2014 (``DTC Letter III'') and May 6, 2014 
(``DTC Letter IV'').
    \9\ See Release No. 34-72391 (June 13, 2014); 79 FR 35193 (June 
19, 2014).
---------------------------------------------------------------------------

    On August 15, 2014, DTC withdrew the Proposed Rules, as amended by 
Amendment Nos. 1 and 2 (SR-DTC-2013-11).
---------------------------------------------------------------------------

    \10\ 17 CFR 200.30-3(a)(31).

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\10\
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-19914 Filed 8-21-14; 8:45 am]
BILLING CODE 8011-01-P